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C.E. Unterberg, Towbin, Llc




C.E. Unterberg, Towbin, Llc is a member of NASD the National Association of Security Dealer. NASD is a self regulatory organization of the securities industry responsible for the operation and regulation of the NASDQ stock market and over the counter markets. It also administrates exams for the investments professionals, such as the series of 7 exams.
 
Unterberg was formed in 1932 by Clarence Unterberg. In 1977 it merged with L.F. Rothschild to form L.F. Rothschild, Unterberg, Towbin. In 1990, the firm again became privately owned and independent when Clarence Unterberg's son, Thomas I. Unterberg, re-launched the firm as a full-service investment bank focused on emerging growth companies.
 
The company functions as a capital raiser and advisor to the emerging sector of the marketplace. They offer the same services to smaller technology, health care and defense companies that bulge bracket banks provide to their largest clients with the most senior members of their firm involved in all transactions.
 
 In addition to executing advisory assignments and capital market transactions, they offer quality research and deep trading markets in their shares. Their institutional clients consist of a broad range of firms active in the emerging sectors of the market.
 
They offer a full range of investment services tailored for corporate executives and their firms, private investors and family offices. They focus on the specific advisory and investment needs of each client, and ensure that each one works directly with their senior level investment professional and planners, not with staff intermediaries.
 
The Asset Management business at C.E. Unterberg, Towbin is a developing family of hedge funds, private equity funds and venture capital funds. They manage them in their entirety or in collaboration and joint ownership with independent affiliates.
 
The firm has a long track record as an effective, successful underwriter. A key reason is the aftermarket support they give their issues. They work hard to build institutional mind share, market share and sponsorship. Their institutional salespeople and traders work with more than 400 institutions that rely on them for emerging growth investment opportunities with technology and health care companies.
 
A relationship driven bank, Unterberg is defined by its industry focus, a dedication to providing service by the senior members of the firm, its respected research team, global reach and perspective, and a commitment to serve the financial needs of tomorrow's industry leaders.

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